Posts tagged with: "financial+services"
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21 Oct 2022, 7:15 am
Raymond James Reps Allegedly Schemed to Overcharged Customers According to public records, the Financial Industry Regulatory Authority (FINRA) censured and fined Raymond James Financial Services (RJFS) for supervisory failures and other rules violations. [read post]
12 Oct 2009, 8:00 am
We are discussing the recent decision by the the Financial Services Authority (FSA) in the United Kingdom to regulate executive compensation in the wake of the current financial crisis. [read post]
12 Jan 2011, 4:41 pm
In Prime Financial Services, L.L.C. v. [read post]
11 Jul 2019, 10:38 am
Financial Advisor Jeffrey Blutstein & Kestra Investment Services Are you concerned about your investments with Jeffrey Blutstein of Elmsford, New York? [read post]
15 Dec 2019, 12:36 pm
Financial Advisor Larry Peggs, Ameriprise Financial Services in Seminole, FL Are you concerned about investments with Joseph Lawrence “Larry” Peggs in Seminole, FL? [read post]
23 Oct 2015, 10:43 am
The Consumer Financial Protection Bureau (CFPB) recently provided guidance discouraging mortgage industry participants from entering into marketing services arrangements (MSAs). [read post]
14 Jun 2019, 12:08 pm
During that time, he also had been a registered broker with QA3 Financial Corp., Ameriprise Financial Services, Inc. and IDS Life Insurance Company. [read post]
24 Jan 2007, 3:30 am
The team also captured the views of more than 30 other leading financial services CEOs through a survey and those of more than 275 additional global financial services senior executives through a separate on-line survey. [read post]
19 May 2017, 5:33 am
The European Banking Authority (EBA) has launched a consultation on draft recommendations on outsourcing to cloud service providers by financial institutions. [read post]
6 Feb 2017, 7:27 am
Financial terms were not disclosed. [read post]
28 Jan 2014, 4:00 am
MishkinThe House Financial Services Committee appears to have stolen a page from the CFPB’s play book. [read post]
18 May 2016, 10:09 am
According to various reports, regulators have fined Raymond James $17 million, accusing the financial services firm of widespread failures in its controls against money laundering. [read post]
19 Jun 2023, 5:20 am
On 16 June 2023, the European Commission (the Commission) published a letter from John Berrigan, Deputy Director-General for Financial Stability, Financial Services and Capital Markets Union, addressed to Verena Ross, ESMA Chair, formally requesting technical advice on the review of Commission Directive 2007/16/EC on UCITS eligible assets (commonly known as the Eligible Assets Directive). [read post]
30 Jul 2009, 3:22 pm
The Financial Industry Regulatory Authority (FINRA) has fined Merrill Lynch and UBS Financial Services $250,000 for supervisory failures that led to unsuitable sales of closed-end funds. [read post]
8 Oct 2011, 9:02 am
Editor’s Note: The following post comes to us from Michael Patterson, Principal, Financial Services at Ernst & Young LLP, and is based on an Ernst & Young publication. [read post]
5 Sep 2018, 12:39 pm
(CRD #13577) of Huntington Station NY and MidAmerica Financial Services, Inc. [read post]
21 Mar 2017, 7:30 am
The financial services aspects of the communiqué include: the Financial Stability Board (FSB) is asked to present at the Hamburg summit in July 2017 its assessment of the adequacy of the monitoring and policy tools available to address the risks from shadow banking and whether there is a need for further policy attention; G20 members are called on to complete the full, timely and consistent implementation of the over-the-counter derivatives reforms where they have… [read post]
26 Mar 2013, 7:41 am
On March 18, the FSA published a consultation paper (CP13/8) setting out proposals on how the Financial Conduct Authority (FCA) will use its new power under section 391(1)(c) of the Financial Services and Markets Act 2000 (FSMA) to publish information about the matter to which a warning notice relates. [read post]
23 Jan 2020, 1:28 am
The extension, known as the Financial Accountability Regime (FAR) is another step in implementing some of the commitments set out in the Government’s Financial Services Royal Commission Implementation Roadmap released in August 2019 following Australia’s Royal Commission into banking conduct. [read post]
31 Mar 2014, 8:41 am
MishkinAccording to a Politico report, a CFPB spokesman has said that the two invited CFPB representatives will not be participating in the hearing scheduled for this Wednesday, April 2 by the House Financial Services Committee’s Subcommittee on Oversight and Investigations. [read post]
